Investment Advisers

During the financial crisis, the world witnessed how financial contracts known as swaps played a key role in creating a global financial hurricane. These ...
Today, the Commission, as directed by Congress, takes another important step in modernizing our executive compensation rules by proposing amendments on pay versus performance. Section ...
This rulemaking addresses a common dealer model utilized by many non-U.S. entities. These dealers often rely on personnel operating within the United States to not ...
I recognize that the SEC still lags behind the CFTC in adopting all the necessary rules for the SBS market, as required by Title VII ...
I am greatly disappointed that the proposal does not exclude smaller reporting companies from the disclosure requirement. Shares of smaller reporting companies are generally less ...
The SEC expects that advisers will produce truthful ads. Trouble can come if a firm puts out false or misleading marketing.   Investment Advisers Act rule 206(4)-1 ...
Investment Advisers Act rule 206(4)-7 requires that an SEC-registered investment adviser must review the adequacy and effectiveness of its policies and procedures at least annually.  ...
Remember, you don't have to achieve best execution but you should seek it. As a 2001 speech by former OCIE Director Lori Richards makes clear, ...
Advisers Act Rule 204-2 – the books and records rule – is the longest in the act at more than 4,000 words. It’s also among ...
The compliance program rule (Investment Advisers Act rule 206(4)-7) requires that all SEC-registered investment advisers adopt and implement written policies and procedures reasonably designed to ...
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